| NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 03/30/2013 |
| NFA MEMBER TEMPORARY BAR LIFTED | 03/30/2013 |
| PRINCIPAL TEMPORARY BAR LIFTED | 03/30/2013 |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 03/30/2012 |
| NFA MEMBER TEMPORARY BAR | 03/30/2012 |
| PRINCIPAL TEMPORARY BAR | 03/30/2012 |
| |
| AVALON ASSET MANAGEMENT LLC |
| ASSOCIATED PERSON WITHDRAWN | 02/10/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/10/2012 |
| ASSOCIATED PERSON REGISTERED | 10/21/2011 |
| NFA ASSOCIATE MEMBER APPROVED | 10/21/2011 |
| AVALON CAPITAL ADVISORS LLC |
| ASSOCIATED PERSON WITHDRAWN | 02/10/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/10/2012 |
| ASSOCIATED PERSON REGISTERED | 10/21/2011 |
| NFA ASSOCIATE MEMBER APPROVED | 10/21/2011 |
| INVESTCORE PARTNERS |
| ASSOCIATED PERSON WITHDRAWN | 03/30/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/30/2012 |
| ASSOCIATED PERSON REGISTERED | 05/25/2006 |
| NFA ASSOCIATE MEMBER APPROVED | 05/05/2006 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 05/05/2006 |